Search for: "Bar Works Capital, LLC"
Results 101 - 120
of 616
Sorted by Relevance
|
Sort by Date
22 Feb 2022, 1:23 pm
According to FINRA Disciplinary actions for February 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Christ Baltas Worden Capital Management LLC Wilmington Capital Securities, LLC Timothy Flynn Trident Partners Ltd. [read post]
21 May 2010, 6:55 am
One recent attempt at creativity, albeit an unsuccessful one, occurred in Capital Construction Management of NY LLC v. [read post]
28 Nov 2023, 10:19 am
Properties LLC). [read post]
17 Mar 2022, 12:08 pm
Paul Koch was reportedly affiliated with the following firms during his career, among others, according to FINRA: 10/26/2018 – 02/04/2022, RBC CAPITAL MARKETS, LLC (CRD#:31194), Wayzata, MN, 01/28/2009 – 11/07/2018, UBS FINANCIAL SERVICES INC. [read post]
30 Apr 2012, 3:00 am
The defendants' counsel submitted a letter citing a Delaware Chancery Court decision, R&R Capital, LLC v. [read post]
24 May 2022, 7:45 am
Bernatzky was reportedly registered with the following FINRA registered firms, among others during her 26-year career in the securities industry: 04/05/2006 – 08/18/2021, HENLEY & COMPANY LLC (CRD#:131453), SHOREHAM, NY, 07/27/1999 – 04/19/2006, PRIME CAPITAL SERVICES, INC. [read post]
17 Jun 2021, 7:26 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
27 Aug 2018, 8:34 am
Rothenberg is also barred from the investment advisory and brokerage business for five years. [read post]
5 Jul 2022, 9:04 am
Michael Leahy First Standard Financial Company LLC Alexander Capital, L.P. [read post]
9 Feb 2022, 11:27 am
Most recently, he worked with Landolt Securities from 2016 to 2017. [read post]
6 Jun 2023, 7:49 am
Cohen’s other business activities reportedly include Eqis Capital Management, according to his BrokerCheck report. [read post]
19 Jun 2017, 11:35 am
In Vazquez’s 17 year career he has worked at least 12 different firms. [read post]
20 Jan 2017, 8:23 am
According to his FINRA BrokerCheck, Levey was registered with SOURCE CAPITAL GROUP, INC. [read post]
23 Jun 2015, 3:13 am
Lafontaine Torres joined Ferraiuoli LLC as an Associate Attorney in the Corporate Department on October 2012. [read post]
17 Dec 2020, 11:55 am
Prior to that he was affiliated with Rockwell Global Capital. [read post]
8 Jul 2020, 7:20 am
(CRD# 4031), 1717 Capital Management Company (CRD# 4082), AXA Advisors, LLC (CRD# 6627), and The Equitable Life Assurance Society of the United States (CRD# 1039). [read post]
11 Mar 2024, 7:14 am
FINRA BrokerCheck Report – Jay Pocius According to his FINRA BrokerCheck report, Jay Pocius was affiliated with the following five firms during his eleven-year career in the securities industry: 05/19/2023 – 03/08/2024, GREAT POINT CAPITAL LLC (CRD#:114203), CHICAGO, IL, B, 08/29/2019 – 06/08/2023, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025), ARLINGTON HEIGHTS, ILB, 06/11/2013 – 09/05/2019, PNC… [read post]
3 Dec 2015, 7:45 am
From April 2012 until April 2015, Snyder was associated with Rockwell Global Capital LLC. [read post]
25 Jan 2010, 3:00 am
I recently formed an investment LLC with 100 members and an initial capitalization of $600 million. [read post]
14 Apr 2023, 9:58 am
According to FINRA Disciplinary actions for March 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS John Carroll Vanderbilt Securities, LLC National Securities Corporation Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all… [read post]
